DFX Intelligence

T••••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

T••••••• A•••••••• L••

CRD 158256

NEW YORK, NY

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Search this name across graphsid dfx:ria:a13fc39c-b919-d022-3d57-9e619263964a

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2012 to Mar 29, 2018
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.7B••• Locked
Discretionary RAUM: $2.7B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• C•• 2••••• L•••	Securitized Asset Fund	$248M	Mar 29, 2018	6	Apr 2, 2013	reported	n/a
T••••••• A••••••• C•• V•• L••	Securitized Asset Fund	$0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• H•••••••• L•••••	DIRECT OWNER AND SOLE MEMBER	E	yes	02/2012	Mar 29, 2012	Mar 29, 2018
G•••••••• D•••••• P••••••	CCO AND VP, DIRECTOR OF PORTFOLIO ADMINISTRATION	Na	yes	01/2016	Mar 29, 2012	Mar 29, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••••• D••• A•••••••• L•••••	n/a	Former SEC adviser	$311M	N	yes	n/a
K•••••• 2••••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
K•••••• X• M••••••••• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 29, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$2.7B	$2.7B	0.5%	$2.1B	9.2%	12	12	0	n/a

Relationships

Affiliated with (2)

→ K•••••• D••• A•••••••• L•••••Registered adviserother investment adviser, common control
factForm ADV
← K•••••• D••• A•••••••• L•••••Registered adviserother investment adviser, common control
factForm ADV

Advises (5)

→ T••••••• A••••••• C•• V•• L••Private fundSecuritized Asset Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ C•••••••• C•• 2••••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a13fc39c-b919-d022-3d57-9e619263964a
First observed: Feb 14, 2012
Last observed: Mar 29, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.